{"id":"KY-060","kind":"order","level":"sector-regulator","jurisdiction":"Kentucky","state":"KY","metro":"","industry":"","agency":"","eco":"","issuer":"Public Protection Cabinet, Department of Financial Institutions (Commissioner Charles A. Vice)","authority":"KRS ch. 292 (Securities Act of Kentucky); EO 2020-215","instrument":"DFI Guidance on Relief: Temporary Relief for Registrants Affected by the COVID-19 Outbreak","title":"Relief from physical-signature and in-person requirements for broker-dealers, investment advisers and their agents","dateIssued":"2020-03-24","effective":"2020-03-24","end":"DFI orders ratified 30 days by HJR 77 sec. 3; DFI guidance of June 5 and U4 signature guidance extended to Jan. 15, 2022 by HJR 1 sec. 3(9)-(10)","startDate":"2020-03-24","endDate":"2022-01-15","quarters":["2020Q2","2020Q3","2020Q4","2021Q1","2021Q2","2021Q3"],"types":["OTHER","EMP"],"addressees":["broker-dealers","state-registered and federal covered investment advisers","registered agents and representatives"],"clause":"Given the disruptions caused by the COVID-19 and social distancing affecting broker-dealers, state-registered investment advisers, federal covered investment advisers, and their registered agents or representatives... the Commissioner of the Kentucky Department of Financial Institutions (\u0027DFI\u0027) temporarily grants the following: I. Relief from Requirement to Obtain Physical Signatures on Forms U4... Such firms may submit Forms U4 electronically, without first obtaining physical signatures","enforcement":"Regulatory relief conditioned on stated procedures; licensing","functions":["WM wealth and advisory","HR registration and onboarding","OP"],"notes":"Companion DFI non-depository guidance of Mar. 24 and June 5, 2020 archived on kfi.ky.gov (not saved)","sourceUrl":"http://kfi.ky.gov/Documents/2020-03-24%20DFI-COVID-19%20Guidance%20on%20Relief.docx.pdf","snapshot":"http://web.archive.org/web/20200605103741/http://kfi.ky.gov/Documents/2020-03-24%20DFI-COVID-19%20Guidance%20on%20Relief.docx.pdf","fileExists":true,"fileBytes":138222,"grade":"primary","character":"","description":"","collection":"KY","url":"/library/KY-060","exhibitUrl":"/exhibit/KY-060","citation":"Public Protection Cabinet, Department of Financial Institutions (Commissioner Charles A. Vice), DFI Guidance on Relief: Temporary Relief for Registrants Affected by the COVID-19 Outbreak (Mar. 24, 2020) (Ex. KY-060)","stateName":"Kentucky","related":[]}